DFX Intelligence

V••••• N••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

V••••• N••••••• A••••••• I••

CRD 110788

BETHLEHEM, PA

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Search this name across graphsid dfx:ria:3a15884f-f667-be12-b84d-62bcdb69096d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 8
On other graphs: 0
Observed: Dec 21, 2011 to Mar 27, 2026
44 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $101Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• M•••• R•••••	n/a	BETHLEHEM, PA	35	44	n/a	yes
F•••• J••• S•••••••	Certified Financial Planner	PHILLIPSBURG, NJ	30	35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••••• M••••••• E•	CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2018	Mar 27, 2026	Mar 27, 2026
R•••••• T•••••• M••••	Chairman	E	yes	10/1984	Mar 27, 2026	Mar 27, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• A••••••• H••••••• I••	n/a	n/a	n/a	N	no	n/a
V••••• N••••••• I•••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Phillipsburg	Nj	United States	1	no
J•••STOWN	Pa	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	7.7%	1	0	0	3	6

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$1.1B	15.8%	$1.1B	5.1%	13	12	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••••••••• W••••• A•••••••	4	Aug 6, 2024	Aug 26, 2024	BETHLEHEM, PA	Team lift out	RIA to new firm	26.7%

Relationships

Registered with (31)

← A•••••• A••• D••••Advisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← L••••• R••••••Advisorregistration: current employment
May 4, 2026 to presentfactForm ADV
← I••••• H•••••Advisorregistration: current employment
Nov 29, 2023 to presentfactForm ADV
← M•••••• E• W••••Advisor

Dated events

Occurred
Jun 22, 2026
Advisor changed firm
Michele Maddaloni left V••••• N••••••• A••••••• I•• for Ameriprise Financial Services, Llc (registered 2026-08-17)
Form ADVobserved 7 days ago
Occurred
Aug 6, 2024
Team lift-out
4 advisors left V••••• N••••••• A••••••• I•• (Bethlehem, PA) for K••••••••• W••••• A••••••• on the same day
Form ADVobserved 7 days ago
4 advisors
Occurred
Aug 6, 2024
Advisor changed firm
Simone Sanvito left V••••• N••••••• A••••••• I•• for K••••••••• W••••• A••••••• (registered 2024-08-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a15884f-f667-be12-b84d-62bcdb69096d
First observed: Dec 21, 2011
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.